Compliance forum: Identifying, managing and mitigating personal SMCR risks

The SMCR has applied to banks since 2016; insurers since 2018; and core and enhanced firms since 2019.

During that period, our employment and regulatory specialists have advised a significant number of individuals on the identification and management of their personal SMCR risks.

Partners, Chris Finney, Joanna Chatterton, Sona Ganatra and Peter focussed on:

- How, when and why personal SMCR risks arise
- What employers are tolerating; what worries them, and why
- How some employers are helping their employees and others really aren't
- How the regulators are responding, when they’re asked to approve someone whose reference isn’t as clean as it might have been
- What the responses to our latest Freedom of Information requests tell us about the personal SMCR risks of tomorrow
- How senior individuals are managing and mitigating their risks – what works, what doesn’t, and what you need to do now, to protect yourself for the future.
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